Carl Ayers
The exemption permits principal transactions and riskless principal transactions in certain investments between a plan, plan participant or beneficiary account, or an IRA, and a
fiduciary ...
The exemption allows entities such as registered investment advisers, broker dealers and insurance companies, and their agents and representatives, that are ERISA or Code
fiduciaries by ...
These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in ...
The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in
self-dealing in ...
This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment ...
The amended exemption allows fiduciaries and other service providers to receive compensation when plans and IRAs purchase insurance contracts, “Fixed Rate Annuity Contracts,” as defined ...
Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...
Some financial services firms have bristled at the prospect of the Financial Stability Oversight Council labelling them a systemically important financial institution. Now a federal ...
Dodd-Frank gave the SEC the power to take more of its enforcement cases to its administrative proceedings setting rather than the courts. A new study ...